Information and information processing facilities should be protected from malware, data loss, and the exploitation of technical vulnerabilities. Information should be protected in networks and as it is transferred, both within the organization and externally. Test data should also be protected. Ideal for information security managers, auditors, consultants, and organizations preparing for ISO certification, this book will help readers understand the requirements of an ISMS based on ISO Find out more.
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Van Haren Publishing is an independent, worldwide recognized publisher, well known for our extensive professional network authors, reviewers and accreditation bodies of standards , flexibility and years of experience. Organizations that developed ISMSs that complied with this code of practice were able to have them independently inspected but there was initially no UKAS accred- ited certification scheme in place, and therefore formal certification was not possible. The confusion around c:cure and the absence of UKAS-accredited certification resulted in uptake of certification to the standard being much slower than anticipated, and c:cure was effectively withdrawn as an option late in BS underwent a significant review in Feedback was collated and in April a revised standard was launched.
The original code of practice was significantly revised and retained as Part 1 of BS, and a new Part 2 was added. As a code of practice, BS Part 1 took the form of guidance and recommendations.
Its foreword clearly stated that it was not to be treated as a specification. BS Part 2 under- went a further review during , and a number of significant changes were made. ISO and ISO underwent extensive revision from onwards, and new, updated versions were published in October These are the current versions, and this book focuses specifically on them.
Developed by a joint committee of the International Organization for Standardization ISO in Geneva and the International Electrotechnical Commission, these standards now provide a globally recognized framework for good information security management.
Most of these standards, however, tend to be spoken of in shorthand. Many of the standards have been previously published and are undergo- ing periodic revision; others are still under development. This book deals specifically with ISO and ISO, but it will refer, where appropri- ate, to guidance contained in the supporting standards listed here. Organizations interested in using or applying these standards should acquire copies, which are available through www.
ISO There are then standards that provide guidance on specific topics such as the integrated implementation of ISO and ISO the service management system management standard , information security govern- ance ISO and organizational economics ISO TR The following are standards detailing requirements for certification bodies seeking accreditation for their ISMS certification scheme:.
Finally there are standards that provide sector-specific guidelines on the implementation of an ISMS. A full list of current and emerging ISO standards is maintained at www. Use of the standard As a general rule, organizations implementing ISO will do well to pay close attention to the wording of that specific standard itself, and to be aware of any revisions to it. Nonconformity with revisions or corrigendums will jeopardize an existing certification. An external auditor will be assessing the ISMS against the published standard, not against the advice provided by this book or any third party.
It is critical, therefore, that those responsible for the ISMS should be able to refer explicitly to the clauses and intent of ISO and should on that basis be able to defend any implementation steps they have taken. It was also made consistent with OECD guide- lines on privacy, information security and cryptography. Its best-practice controls were made capable of implementation in a variety of legal and cultural environments. It also provides guidance, to which an external auditor will look, on how to implement controls within a certifiable ISMS.
It does not, as the standard is currently written, provide the basis for an international certification scheme. The guidance that this book provides in implementing an ISMS will therefore start with the requirements of ISO, will then look to ISO for guidance as to the range of actions that could be considered in implementing selected controls, and will look to other best practice sources for more detailed input where relevant.
It is particularly important to note that, while ISO provides inter- national best practice in information security controls, it is not necessarily up to date for more recent changes in the information security environment.
It has been written, and rewritten, over a number of years. The speed with which information technology has evolved, and goes on evolving, already means that some of the specific guidance in ISO may be inadequate to deal with newly identified threats and vulnerabilities and the most current responses to them. That does not invalidate ISO; it simply creates an opportunity for the practitioner to go beyond IS when necessary.
It does also draw on our combined experience, over a number of years, working with organizations around the world on their information security manage- ment strategies. Its lessons are directly applicable for all ISMSs that are to be certified by an accredited certification body anywhere in the world. It will do so broadly within the context of the Microsoft suite of products, as these are the products most widely used in those parts of the world likely to be interested in certification.
The imple- mentation steps set out in this book, however, apply in all software and hardware environments. The standard itself was specifically written to be technology independent. This book will refer very explicitly to ISO and to ISO in order to comment on the implementation steps necessary to reflect the recommendations of ISO and to comply with the standard. However, the reader must obtain current copies of both documents as well as any others that may appear to be necessary and use them alongside this book in order to optimize an information security project and gain the full value of this book.
While ISO mandated the adoption of PDCA, it is no longer specifically required; what is a specific requirement is the adoption of a suitable and appropriate continual improvement process. This book will assume that the PDCA model is used, and you should therefore make sure that you thoroughly understand it.
The version of the standard has been designed for better alignment, or integration, with related management systems eg ISO within the organization.
Other ISO standards are being brought into accordance with a consistent high-level structure and common terminology known as Annex SL, because it is an annex to an ISO directive on standardization which will simplify management system integration significantly; the concept of a single, integrated management system, embedded within the standard oper- ating processes of the organization, and capable of certification to multiple standards, is becoming much easier for the average organization to achieve.
A note on numbering ISO adopts the same standard numbering methodology for its clauses and sub-clauses as will other management system specifications. This means that the requirements of the standard what you have to do if you are to claim compliance with it are set out in clauses 4—10, with clauses 1—3 being introductory and the annexes being excluded from the requirements. ISO follows a different numbering sequence, with clauses 1—4 providing general guidance on the use of the standard, and clauses 5 through 18 providing guidance on individual controls.
Where we identify clauses in ISO, we are specifically referring to the stated requirements of the standard. Returning to ISO , the numbering is solely for the purpose of refer- encing. The standard itself recognizes that the order and number of clauses does not indicate relative importance or an order of implementation.
Structured approach to implementation Although ISO allows the organization to tackle its clauses in any appropriate order, it makes sense to have a structured approach to the establishment of an ISMS. This is where you assess the risks.
The implementation process will go through its own five steps:. However, monitoring, reviewing, testing and audit is an ongoing process that has to cover the whole system, and a certification body will want to see evidence of an effective internal audit programme in relation to the ISMS as part of its certification activities.
Thereafter, it will be subject to ongoing review, further testing and continu- ous improvement. This book takes a sequential approach to the establishment and imple- mentation of an ISMS. In reality, once they realize the scale of the information risks they face, many organizations will want to tackle a number of the necessary tasks in parallel.
In taking such an approach, however, bear in mind that an effec- tive management system is one in which the way arrangements to address the requirements of the standard relate to and work with one another in order to provide a repeatable and dependable system that delivers required outcomes is more important than simply addressing individual clauses.
If component tasks of establishing the ISMS are being carried out in parallel, or the organization already has elements of an ISMS in place and is driving gap analysis-based improvements toward the objective of ISO conformance, it will be critically important to first have a thorough under- standing of all the requirements of ISO as well as a strong project management methodology to keep everything together.
Implementation issues Implementation of an ISMS will have significant impacts on the way people work. It should be seen as a business project, not an IT or informa- tion security project.
Effective leadership, top management support, change management and internal communication are all essential components of any successful ISO system roll-out. An overview of key issues that will contribute to a successful implementation is set out below with more specific information and analysis in later chapters. Clause 6. This requirement should be addressed as part of creating the project and management framework; the authors recommend that the implementation project itself produces and maintains a project-level risk log.
ISO encourages integration of quality and other management systems. The ISMS should be integrated with the quality management and any other management system to the greatest extent possible not forgetting that any management system needs to be integrated with the business if it is to deliver on all the benefits that it can offer.
The adoption of a largely consistent high-level structure, common core text and terms and definitions across new and revised ISO management system standards since October lends itself to a single management system that addresses requirements from multiple standards. In other words, the way in which an organization addresses context, top management commitment, internal audit, continual improvement and documentation can be largely the same for each and every management system standard it adopts.
This is an important message that should, in this circumstance, underpin the change management and communication plans; the smaller the perceived mountain, the more quickly will an organization set out to climb it.
In circumstances where the organization does not already have an exist- ing ISOcertified management system and wishes for guidance on the documentation, document control authorization, version control, status, etc aspects of producing management system documents and records issues of ISO, it should obtain and use the guidance in any current manual on the implementation of ISO Note that the ISO specifica- tions for document control clause 7.
The organizations that are accredited to offer certification to ISO are usually listed on the websites of national accreditation bodies. Not all of them offer a truly integrated certification service. Documentation As set out above, the organization should adopt, for its ISO system, at least the same documentation principles as are required for ISO A properly managed ISMS will require documentation.
Clause 7. The types of documents that are typically required for an effective ISMS include the following:. This could usefully be related to the organizational structure chart. A procedure describes who has to do what, under what conditions, or by when, and how. A work instruction is an even more detailed description of how to perform a specific task. Procedures there might be one for each of the implemented controls and work instructions might be identified in the ISMS documentation, but would be subject to a lower level of authorization than the manual.
These should be developed in line with the guidance contained in this chapter. The ISMS documentation should be controlled documents, available to all staff. It can be done in paper form but is most effective either on a shared drive, an intranet, a SharePoint server or through a document management and policy support software tool. SharePoint is increasingly widely used and it ensures that the current version of any procedure is immediately available to all members of staff without inconvenience.
Remember that any shared resource will have its own challenges in terms of organization and control; ownership of assets, archiving and data integrity are key issues. SharePoint installations should be subject to their own specific governance arrange- ments if they are to produce maximum benefits.
A structured numbering system should be adopted that ensures ease of navigation of any manual or related documentation and ensures that initial document issue is controlled, that replacement pages and changes are tracked and that the manual is complete. Staff should obviously be trained in how to use the ISMS; this is usually best done as part of the staff induc- tion process.
Clearly, there will be a number of security system documents that them- selves need to be subject to security measures. These will include documents such as the risk assessment, the risk treatment plan and any non-public versions of the statement of applicability, which contain important insights into how security is managed and which should therefore be classified and restricted in accordance with the type of information classification system described in Chapter 9.
Access should be limited to people with specified ISMS roles, such as the information security adviser. Instead, it recommends that the ISMS documentation be scaled to reflect the complexity of the organization and its security requirements.
It contains a comprehensive set of ISMS documents that are designed for adaptation to meet the specific requirements of any individual organization. Leadership Leadership, like all key business initiatives, has to be provided from the top. The whole of clause 5 of the standard deals with leadership and sets out a number of ways in which top management must evidence their commitment to information security in the organization.
Ideally, the CEO should be the driving force behind the programme, and its achieve- ment should be a clearly stated goal of the current business plan.
The CEO needs to understand completely the strategic issues around IT governance and information security and the value to the company of successful certifi- cation. The CEO has to be able to articulate them and to deal with objections and issues arising. Above all, he or she has to be sufficiently in command of this part of the business development to be able to keep the overall plan on track against its strategic goals.
The chairperson and board should give as much attention to monitoring progress against the ISO implementa- tion plan as they do to monitoring all the other key business goals. If the CEO, chairperson and board are not behind this project, there is little point in proceeding; certification will not happen without clear evidence of such a commitment.
This principle, of leadership from the top, is of course essential to all major change projects. No certification body will certify an ISMS without getting firm evidence of the commitment of senior managers. If this commitment is not clearly demonstrated, the ISMS simply will not be adequate and the risks to the organization will not have been properly recognized or fully addressed, and the strategic business goals are unlikely to have been considered.
Change management There have been many books written about change management programmes and initiatives. Many such programmes fail to deliver the benefits that have been used to justify the expense of commencing and seeing them through. Successful implementation of an ISMS does not require a detailed change management programme, particularly not one devised and driven by consultants.
What it does require is complete clarity among senior manag- ers, those charged with driving the project forward and those whose work practices will be affected as to why the change is necessary, about what the end result must look like and why this result is essential. The design and implementation of the ISMS should be driven by a project team that is drawn from those parts of the organization most likely to be affected by its implementation as well as a very small number of functional experts, including HR or personnel experts.
The balance is important: a properly functioning ISMS depends on everyone in the business understand- ing its processes and applying its controls, and if the project team is made up of a preponderance of non-technical people, it is more likely to produce something that everyone in the business understands.
The team certainly should include at least one experienced project manager, who will be respon- sible for tracking and reporting progress against the planned objectives. The project team or sponsor should report directly to the CEO or equiva- lent management authority that has responsibility for the entire scope of the ISMS and have the appropriate delegated authority to implement the board-approved plan. Clause 5. There needs to be an outline timetable and top-level identification of responsibilities and the critical path to completion.
This should be prepared by the project team and, once it has been critically tested by the CEO and top managers, approved by the board. This plan should fit onto two sides of A4 and should provide sufficient scope for those who will have to imple- ment it to find appropriate solutions to the many operational challenges that there will be. A key preliminary step in any successful change programme is to identify and isolate, or convert, potential opposition. This is not surprising.
The resistance of the IT department must be expected and overcome at the outset. There are circumstances where this can lead to a change in IT staff, either forced or unforced, and the organization should expect this and prepare appropriate contingency plans.
Training will be an important facilitator of the change programme. Staff throughout the business will need specific training in those aspects of security policy that will affect their day-to-day work. The IT manager and IT staff will all need competency in information security, and if this needs to be enhanced by training, this should be delivered by an organization that recognizes and understands the technical aspects of ISO training.
Communication Underlying any successful change management programme, and especially necessary for the successful roll-out of an ISMS, is a well-designed and effec- tively implemented internal communications plan. Compliance with clause 7. This ensures that they buy in to the outcome and to its implementation. Most usually, this will be part of the corporate intranet, on which regular progress reports as well as detailed information on specific aspects of the ISMS are posted.
Organizational Facebook and Twitter accounts could also be pressed into service as part of the project. Reviews Clause 9. This will be discussed in some detail in Chapter 6. The records of the management body to be discussed in Chapter 4 that is responsible for implementing the ISMS should document that these reviews were carried out on particular dates, what the results of the reviews were and what actions, if any, were required as a result.
Continual improvement and metrics Clause The correc- tive action requirements of clause Prevention, as a specific process, has been removed from the standard, as the ISMS itself is now seen as the preventive tool that manage- ment deploys in order to prevent compromises of information security.
The combination of effective monitoring, measuring, and corrective action processes, together with a formal review process and strong internal audit structure, within the context of an ISMS developed in line with the recommendations of this book, will enable an organization to start demon- strating its approach to continual improvement.
A long-term approach to continual improvement must include measuring the effectiveness of the ISMS and of the processes and controls that have been adopted. Clearly, information security as an organizational function needs to be measured against performance targets in just the same way as are other parts of the organization.
In order to develop a useful set of metrics, an organization will have to identify what to measure, how to measure it and when to measure it. Some of the areas that should be considered for measurement include the effectiveness and value adding capability of the incident handling process, the effectiveness and cost savings provided by staff training, the improve- ment in efficiency generated by access controls and external contracts, and the extent to which the current scope is meaningful and relevant in the changing business environment.
This does, in fact, need to be thought through at the same time as the information security policy is being drawn up, as set out in Chapter 5. An effective information security management structure also enables the risk assessment to be discussed in Chapter 6 to be carried out effectively. The second control category in Annex A to the standard, in clause A.
Controls are selected to meet business, regulatory or contractual requirements the baseline security criteria , or in response to the risk analysis see Chapter 6 ; there is a business requirement to put an information security management structure in place from the start of the ISO project. The control objective of control A. This objective encourages the creation of the management information security forum identified in earlier versions of the standard.
Without this, neither certification nor the project itself will be successful. Clause A. At the same time, the competence requirements of Clause 7. In practical terms, this means that managers should set up a top-level forum or steering group to ensure that there is clear direc- tion and visible management support for security initiatives within the organization.
It could be part of an existing management body, which might be appropriate in a smaller organization where the members of the top management team will also, broadly, be the members of an information security forum. More usually, it will be a separate cross-functional body, adequately resourced for its responsibility, reporting to a member of the top management team and reflecting top management support and commit- ment.
The effectiveness of this forum will be fundamental to both the effectiveness of the ISMS and compliance with clauses 5. ISO, the formal guidance on ISMS implementation, identifies roles for an information security committee and an information security planning team. The information security committee should have delegated manage- ment responsibility for information security within the organization.
The information security planning team is responsible for planning implementa- tion of the ISMS, resolving inter-departmental conflict and ensuring that the ISMS project runs to plan. In practical terms, in most organizations, the forum which was described earlier will usually evolve into an information security committee which effectively has governance responsibility for infor- mation security.
In most organizations, it makes sense for the forum to have both roles: ownership of the ISMS and responsibility for planning and deploying it. In much larger organizations, it is usually sensible to follow the guidance of ISO senior managers, who might be involved in the forum or committee, are not usually able to take part in the actual project work.
ISO provides an overview list of best practices for implementing the ISO security standard. This ISO information security guidelines checklist provides an overview of security controls that should be managed through your ISMS and helps ensure that your controls are organized and up-to-date. Additionally, it requires that management controls have been implemented, in order to confirm the security of proprietary data. In order to adhere to the ISO information security standards, you need the right tools to ensure that all 14 steps of the ISO implementation cycle run smoothly — from establishing information security policies step 5 to full compliance step Whether your organization is looking for an ISMS for information technology IT , human resources HR , data centers, physical security, or surveillance — and regardless of whether your organization is seeking ISO certification — adherence to the ISO standards provides you with the following five benefits:.
ISO and ISO work together to prevent and mitigate potential problems, especially when it comes to business continuity. An ISO checklist is crucial to a successful ISMS implementation, as it allows you to define, plan, and track the progress of the implementation of management controls for sensitive data.
It ensures that the implementation of your ISMS goes smoothly — from initial planning to a potential certification audit. An ISO checklist begins with control number 5 the previous controls having to do with the scope of your ISMS and includes the following 14 specific-numbered controls and their subsets:.
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